Search results: 150 matching results

Fine-Tuning Your Corruption Risk Management

Last year, a former Morgan Stanley managing director pleaded guilty for his role in a conspiracy to evade the company’s ...
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Key Questions to Consider for the Risk Appetite Dialogue

Issue 48 of <i>Board Perspectives: Risk Oversight</i> considers three elements of a risk appetite statement:...
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Creating Transparency Into Your Largest Risk Exposures

This issue of The Bulletin offers approaches for improving transparency into an entity’s most significant risk exposures...
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Fraud Prevention Process: Debit and Credit Card Transactions Audit Work Program

This audit program identifies and evaluates the effectiveness of a debit and credit card service provider’s fraud preven...
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Electronic Signature (E-Sign) Audit Work Program

The objective of this work program is to assess documented policies and procedures, including business requirements docu...
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Bank Controls: Information Systems Evaluation Tool

This tool helps to assist management in analyzing the effectiveness of the internal control structure over financial rep...
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Quarterly Compliance Assessment Audit Report

The purpose of this report is to document internal audit’s quarterly assessment of compliance policies and procedures an...
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Banking Controls: Management Control Structure Evaluation Questionnaire

This guide is designed to assist management in analyzing the effectiveness of a company's management control struct...
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Bank Financial Reporting Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Banking: Payroll Department Audit Work Program

The purpose of this work program is to provide the general steps used to perform an audit of a bank’s payroll department...
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Privacy Compliance Program Review Audit Report

This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
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Fund Accounting Process Audit Report

This sample report highlights the controls related to an organization’s fund accounting process.
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Bank Expenditure Non-Payroll Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Bank Treasury Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Bank Investment Cycle: Control Objectives and Audit Work Program

This tool assists department management in analyzing the effectiveness of the internal control structure over financial ...
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Bank Trust Cycle: Control Objectives and Audit Work Program

This tool assists department management in analyzing the effectiveness of the internal control structure over financial ...
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Bank Loan Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Bank Expenditure Payroll Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Bank Deposit Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
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Bank Audit Plan Report

This sample outlines the audit plan for a bank, including risk assessment, gap analysis from previous year audit plan, a...
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